Respondent has submitted a sworn Statement of Financial Condition, dated February 29, 2020, supplemented as of June 30, 2020, and other evidence and has asserted ...
The Commission is adopting amendments to Rule 15c2-11, which sets out certain requirements for a broker-dealer seeking to initiate (or resume) quotations for securities in ...
Roosevelt lacked policies and procedures reasonably designed to prevent and detect these violations by its registered representatives
Welsh placed orders for new issue municipal bonds with Dockside and Murphy to obtain bonds for Roosevelt’s inventory when he should have known that they, ...
The outbreak of COVID-19 has had far-reaching effects, with small businesses being particularly affected by the closures and safety measures designed to slow the spread ...
Due to the intermittent inaccessibility of physical certificates at DTC as a result of ongoing concerns related to the effects of COVID–19, sell orders for ...
The final rule defines the term covered broker or dealer as ‘‘a covered financial company that is a qualified broker or dealer’’
At the time he was fired, Tropiano was married to the daughter of Respondent. Tropiano went to see Respondent, his father-in-law, for advice on finding ...
Pizzuti was associated with other broker-dealers registered with the Commission, some of which were also registered as investment advisers
After considering the comments received on the Proposal to rescind the Fee Exception,6 the Commission has determined that the Fee Exception is no longer appropriate ...